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FINRA Looking To Speak With Terminated Wells Fargo Brokers

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Thursday, December 15, 2016.

In the wake of Wells Fargo’s fraudulent account scandal [...] Read More

Former Merrill Lynch International Advisors File Class Action

By George C. Miller, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, December 13, 2016.

A group of former Merrill Lynch international financial advisors have filed [...] Read More

THE U.S. SUPREME COURT CLARIFIES THE DEFINITION OF INSIDER TRADING- A BIG WIN FOR PROSECUTORS

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, December 7, 2016.

For the first time since 1983 [...] Read More

EX LPL BROKER BARRED BY SECURITIES AND EXCHANGE COMMISSION

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Wednesday, November 30, 2016.

The SEC recently barred a broker who had been licensed [...] Read More

FINRA PROPOSES RULE TO CURB ELDER FINANCIAL ABUSE

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, November 22, 2016.

FINRA recently proposed a rule that would allow brokers to report [...] Read More

WELLS FARGO WINS $1M FROM DISCHARGED BROKER

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, November 18, 2016.

In yet another loss to a broker litigating an upfront note case by claiming [...] Read More

NEW CALIFORNIA LAW PROHIBITS OUT OF STATE DISPUTE RESOLUTION CLAUSES EFFECTIVE JAN. 1, 2017

By Erwin J. Shustak, Esq. of Shustak Reynolds & Partners, P.C. posted on Tuesday, November 15, 2016.

Many in the financial services industry likely are wondering what’s in store for the U.S. Department of Labor’s Fiduciary Rule [...] Read More

What Does the Trump Election Mean for the DOL Fiduciary Rule?

By Jonah A. Toleno, Esq. of Shustak Reynolds & Partners, P.C. posted on Friday, November 11, 2016.

Many in the financial services industry likely are wondering what’s in store for the U.S. Department of Labor’s Fiduciary Rule [...] Read More

WELLS FARGO ADVISORS’ AGGRESSIVE CROSS-SELLING TACTICS COULD LEAD TO MORE WOES FOR THE COMPANY AND ITS ADVISORS

By Katherine S. DiDonato, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, October 17, 2016.

As the fallout from Wells Fargo’s fake account scandal continues to mount, watchful eyes are now turning to Wells Fargo Advisors [...] Read More

“Whiz Kid” Settles Fraud Claims with SEC for $1.5 Million

By Kelly B. Mourning, Esq. of Shustak Reynolds & Partners, P.C. posted on Monday, October 3, 2016.

In 2014, the Securities and Exchange Commission warned investors that investment newsletters can be used as a means to perpetrate fraud [...] Read More